Interim Provisions on Handling violations of scientific and Technological activitiesMinistry of Science and Technology Decree No. 19
The Interim Provisions on Handling Violations of Scientific and Technological Activities, which were deliberated and adopted at the 10th Ministerial Meeting of the Ministry of Science and Technology on June 18, 2020, are hereby promulgated and will come into force as of September 1, 2020.
Ministe Wang Zhigang
July 17, 2020
Interim Provisions on Handling violations of scientific and Technological activities
Chapter I General rules
Article 1 These Provisions are formulated in accordance with the Law of the People's Republic of China on Science and Technology Progress and other laws and regulations in order to regulate the treatment of violations of scientific and technological activities and create a good atmosphere for scientific research with clean atmosphere.
Article 2 These Provisions shall apply to the handling of violations of the following units and personnel in the course of carrying out relevant scientific and technological activities.
(1) the entrusted administrative institution and its staff, that is, the institution entrusted by the administrative department of science and technology to carry out the management of relevant scientific and technological activities and its staff;
(2) Units implementing scientific and technological activities, that is, scientific and technological research and development institutions, institutions of higher learning, enterprises and other organizations that specifically carry out scientific and technological activities;
(3) Scientific and technological personnel, that is, personnel directly engaged in scientific and technological activities and personnel providing management and services for scientific and technological activities;
(4) Experts in the consultation and evaluation of scientific and technological activities, that is, professionals who provide advice, review, evaluation and other opinions for scientific and technological activities;
(5) Third-party scientific and technological service institutions and their staff, that is, third-party institutions and their staff that provide services such as auditing, consulting, performance evaluation, brokerage, intellectual property agency, inspection and testing, and publishing for scientific and technological activities.
Article 3 The Ministry of Science and Technology shall strengthen the overall planning, coordination, supervision and guidance on the handling of violations in scientific and technological activities.
The administrative departments of science and technology at all levels shall, in accordance with their functions and powers, deal with the violations that occur in the implementation of scientific and technological activities.
Article 4 The handling of violations of scientific and technological activities shall distinguish between subjective faults, nature, circumstances and degree of harm, so as to ensure proper procedures, clear facts, solid evidence, accurate basis and proper handling.
Chapter II Violations
Article 5 Violations of the entrusted management agency include the following circumstances:
(1) Obtaining management qualifications by resorting to fraud or other improper means;
(2) internal management confusion, affecting the normal development of entrusted management;
(3) Failure to report major matters in a timely manner;
(4) There is a management fault, resulting in negative effects or financial losses;
(5) establishing rent-seeking, engaging in malpractice for personal gain, abusing power, or privately distributing the entrusted scientific research funds;
(6) concealing or covering up illegal acts of relevant units or personnel in scientific and technological activities;
(7) do not cooperate with supervision, inspection or evaluation work, do not rectify, false rectification or rectification does not meet the requirements;
(8) breach of major obligations under contracts such as assignment agreements;
(9) violating the relevant provisions of the State on the confidentiality of scientific and technological activities;
(10) Other relevant violations stipulated by laws, administrative regulations, departmental rules or normative documents.
Article 6 Violations of the staff of the entrusted management agency include the following circumstances:
(1) dereliction of management, resulting in negative effects or financial losses;
(2) seeking rent, practicing favoritism, and seeking illegitimate benefits by organizing scientific and technological activities;
(3) undertake or participate in the science and technology plans (special projects, funds, etc.) under its management;
(4) Participating in the signing of papers, works, patents and other scientific and technological achievements in the scientific and technological activities under its management, as well as related scientific and technological awards and talent selection;
(5) Taking part-time jobs in relevant scientific and technological activities without approval;
(6) interfering with the consultation review or exerting tendentious influence on the consultation review experts;
(7) divulging the list of experts, expert opinions, review conclusions and project approval arrangements that need to be kept confidential during the management of scientific and technological activities;
(8) concealing the conflict of interest in violation of the requirements of the withdrawal system;
(9) falsely reporting, falsely claiming, misappropriating or extracting scientific research funds under its management;
(10) violating the relevant provisions of the State on the confidentiality of scientific and technological activities;
(11) Other relevant violations stipulated by laws, administrative regulations, departmental rules or normative documents.
Article 7 Violations of scientific and technological activities by units include the following circumstances:
(1) Providing false materials in the activities of declaration, review, implementation, acceptance, supervision and inspection, evaluation and evaluation of scientific and technological activities, and organizing "greetings" and "connections" and other solicitation behaviors;
(2) dereliction of management, resulting in negative effects or financial losses;
(3) failing to perform the main obligations stipulated in the management contract for scientific and technological activities without justifiable reasons;
(4) concealing, accommodating, concealing, conniving or participating in the illegal activities of the personnel of the unit;
(5) Illegally subcontracting or subcontracting scientific research tasks without approval;
(6) Withholding, squeezing, misappropriating, siphoning off, transferring, or privately dividing financial research funds;
(7) do not cooperate with supervision, inspection or evaluation work, do not rectify, false rectification or rectification does not meet the requirements;
(8) failing to turn over the financial research surplus funds that should be recovered in accordance with regulations;
(9) failing to conduct scientific and technological ethics review and supervise the implementation;
(10) to carry out scientific and technological activities that endanger national security, public interests or human health;
(11) violating the relevant provisions of the State on the confidentiality of scientific and technological activities;
(12) Other relevant violations stipulated by laws, administrative regulations, departmental rules or normative documents.
Article 8 Violations by scientific and technical personnel include the following circumstances:
(1) Providing false materials in the activities of declaration, review, implementation, acceptance, supervision and inspection, evaluation and evaluation of scientific and technological activities, and implementing "greeting" and "taking the relationship" and other solicitation behaviors;
(2) deliberately exaggerating the research basis, academic value or technological value and social and economic benefits of scientific and technological achievements, concealing technological risks, resulting in negative effects or financial losses;
(C) talent plan candidates, major scientific research project leaders change their work units during the employment period or project implementation period without authorization, resulting in negative effects or financial losses;
(4) Deliberately delaying or refusing to perform the main obligations stipulated in the management contract for scientific and technological activities;
(V) arbitrarily reduce the target tasks and agreed requirements, with the project implementation cycle or irrelevant results to make up for the difference;
(6) copying, plagiarizing, misappropriating or tampering with others' scientific and technological achievements, fabricating scientific and technological achievements, infringing others' intellectual property rights, etc.;
(7) falsely reporting, falsely claiming, misappropriating or extracting financial research funds;
(8) do not cooperate with supervision, inspection or evaluation work, do not rectify, false rectification or rectification does not meet the requirements;
(9) violating the code of ethics of science and technology;
(10) to carry out scientific and technological activities that endanger national security, public interests or human health;
(11) violating the relevant provisions of the State on the confidentiality of scientific and technological activities;
(12) Other relevant violations stipulated by laws, administrative regulations, departmental rules or normative documents.
Article 9 The violation of scientific and technological activities consulting and reviewing experts includes the following circumstances:
(1) using fraud and other improper means to obtain qualifications for consultation, review, evaluation, evaluation, supervision and inspection;
(2) violating the requirements of the withdrawal system;
(3) accepting requests for "greetings" and "connections";
(4) Guide and lobby other experts or staff to influence the process and results of consultation, review, evaluation, evaluation, supervision and inspection;
(5) Soliciting or accepting property or other improper benefits from interested parties;
(6) issue obviously improper opinions on consultation, review, evaluation, evaluation, supervision and inspection;
(7) Disclosure of confidential information about the applicant, the list of experts, expert opinions, and review conclusions during the consultation and review process;
(8) copying or plagiarizing the scientific and technological achievements of the subjects of consultation and evaluation;
(9) violating the relevant provisions of the State on the confidentiality of scientific and technological activities;
(10) Other relevant violations stipulated by laws, administrative regulations, departmental rules or normative documents.
Article 10 Violations of third-party science and technology service institutions and their staff include the following circumstances:
(1) obtaining business related to scientific and technological activities by resorting to fraud or other improper means;
(2) engaging in the buying and selling of academic papers, writing and investing on behalf of others, and forging, fabricating or tampering with research data;
(3) violating the requirements of the withdrawal system;
(4) to entrust other parties to provide services related to scientific and technological activities without authorization;
(5) producing false or inaccurate conclusions;
(6) Soliciting or accepting property or other improper benefits from interested parties;
(7) Disclosure of confidential information or materials;
(8) violating the relevant provisions of the State on the confidentiality of scientific and technological activities;
(9) Other relevant violations stipulated by laws, administrative regulations, departmental rules or normative documents.
Chapter III treatment measures
Article 11 For violations of scientific and technological activities, depending on the subject of the violation and the nature of the behavior, the following measures may be taken separately or in combination:
(1) Warning;
(2) ordering rectification within a time limit;
(3) interview;
(4) within a certain range or publicly circulate criticism;
(5) termination or cancellation of scientific and technological activities supported by financial funds;
(6) to recover the balance of funds, the appropriated financial funds and illegal income;
(7) Revoke the award or honorary title and recover the bonus;
(8) Cancel the management qualification of scientific and technological activities supported by financial funds within a certain period of time;
(9) It is forbidden to undertake or participate in scientific and technological activities supported by financial funds within a certain period of time;
(10) Enter into the database of serious dishonesty in scientific research integrity.
Article 12 Where violations are suspected of violating Party discipline and government discipline or committing illegal crimes, they shall be transferred to the relevant authorities for handling.
Article 13 For the violation of third-party science and technology service institutions and personnel, the relevant problems and clues shall be transferred to the competent department or industry association with the authority to punish or deal with the situation.
Article 14 Where the entrusted management agency or the scientific and technological activity implementing unit systematically carries out violations of scientific and technological activities, or there is a major management fault, the main person in charge or the direct person in charge shall be investigated for responsibility in accordance with item (8) of Article 11 of these Provisions, and the specific period shall be consistent with the restricted years of the entity being dealt with.
Article 15 Where there is evidence that the violation has caused adverse effects or serious losses of financial funds, it shall directly or request the administrative organ with corresponding responsibilities and powers to order it to take effective measures to prevent the expansion of the impact or losses, suspend the relevant scientific and technological activities, and suspend the allocation of corresponding financial funds. At the same time, scientific and technological activities that accept applications for new financial support from relevant responsible subjects will be suspended.
Article 16 In the case of taking measures to deal with Article 11 (9) of these provisions, if the violation does not involve the core key tasks, binding targets or indicators of scientific and technological activities, but causes a large negative impact or financial loss, the relevant qualifications of the offending units shall be cancelled within 2 years (including 2 years), and the relevant qualifications of the offending individuals shall be cancelled within 3 years (including 3 years).
The above violations involve the core key tasks, binding goals or indicators of science and technology activities, and cause the relevant science and technology activities to deviate from the agreed objectives, or cause serious negative effects or financial losses, the violation of the unit to cancel the relevant qualifications for 2 to 5 years, the violation of the individual to cancel the relevant qualifications for 3 to 5 years.
The above violations involve the core key tasks, binding objectives or indicators of science and technology activities, and cause the relevant science and technology activities to stall, seriously deviate from the agreed objectives, or cause particularly serious negative effects or financial losses, and the violation of the units and individuals will be disqualified for more than 5 years until permanent.
Article 17 Under any of the following circumstances, lenient treatment may be given:
(1) take the initiative to reflect the problem clues and verify them;
(2) Voluntarily admit mistakes and actively cooperate with the investigation and rectification;
(3) take the initiative to return all kinds of benefits obtained due to violations;
(4) take the initiative to recover losses and waste or effectively prevent the occurrence of harmful results;
(e) Through the national media to publicly make a commitment to strictly abide by the relevant national laws and regulations on scientific and technological activities, and no longer carry out violations;
(6) Other circumstances that may be given lenient treatment.
Article 18 Under any of the following circumstances, a heavier treatment shall be given:
(1) Forging, destroying or concealing evidence;
(2) preventing others from providing evidence, or interfering with or hindering investigation and verification;
(3) attacking or retaliating against the informant;
(4) Systematically committing violations;
(5) Multiple violations or multiple violations at the same time;
(6) Other circumstances that should be given a heavier treatment.
Article 19 Where violations of scientific and technological activities involve multiple subjects, the responsibilities of different subjects shall be identified and dealt with accordingly according to factors such as the negative impact of their violations or the role played in the process and results of the occurrence of financial capital losses.
Chapter IV processing procedures
Article 20 After the violation of scientific and technological activities is determined, depending on the facts, nature and circumstances, a corresponding decision shall be made in accordance with the handling measures of Article 11 of these Provisions, and a written decision shall be made.
Article 21 Before making a decision, the unit or person to be dealt with shall be informed of the facts, reasons and basis of the decision to be made, and shall be informed of the right to state and defend and the way and time limit for exercising it. If the unit or person being handled fails to make a statement or defense within the time limit, it shall be deemed to have waived the right to make a statement or defense; If a statement or defence is made, its views shall be fully heard.
Article 22 The following contents shall be stated in the written decision:
(1) The basic situation of the subject being handled;
(2) the circumstances and factual basis of the violation;
(3) processing basis and processing decision;
(4) the means and duration of relief;
(5) The name and time of the unit that made the decision;
(6) Other relevant matters stipulated by laws, administrative regulations, departmental rules or normative documents.
Article 23 The written decision shall be delivered to the unit or person being handled, copied to the unit where the person being handled is located or the superior competent department of the unit being handled, and notify the relevant trade association of the person being handled or the unit as appropriate.
The written decision can be served by direct service, entrusted service, postal service, etc. If the whereabouts of the person sent is unknown, it may be served by public notice. If confidential contents are involved, the service shall be delivered in accordance with relevant provisions on confidentiality.
For the decision on the handling of violations with a wide range of influence and high social attention, in addition to the secret content, it should be disclosed to the society to play a warning and education role.
Article 24 If the unit or person being handled is dissatisfied with the decision, it may, within 15 working days from the date of receipt of the decision, apply for review to the relevant department or unit that made the decision according to the relief channels specified in the decision, stating the reasons and providing relevant evidence or clues.
The processing body shall make a decision on whether to accept the review application within 15 working days after receiving it. If it decides to accept the decision, it shall separately organize a review of the facts and relevant basis identified in the processing decision.
The review shall make a review decision, and the review shall in principle be completed and delivered to the applicant within 90 working days from the date of acceptance. During the review period, the implementation of the original processing decision shall not be suspended.
Article 25 The unit or person being handled may also directly apply for reconsideration or bring a lawsuit in accordance with law without review.
Article 26 Where the treatment measures specified in Article 11 (9) of these provisions are taken, the period of disqualification shall be calculated from the date on which the treatment decision is issued. Where the suspension of activities has been taken in accordance with Article 15 of these Provisions before the treatment decision is made, the period of suspension of activities may be deducted from the treatment period.
Article 27 Where violations of scientific and technological activities involve multiple departments, joint investigations may be organized and dealt with separately according to their duties and powers.
Article 28 Where violations of scientific and technological activities are handled beyond the scope of responsibilities and authority of the administrative departments of science and technology, the problems and clues shall be transferred to relevant departments and institutions, and opinions and suggestions may be put forward to relevant departments and institutions in an appropriate manner.
Chapter V Supplementary provisions
Article 29 In the scientific and technological activities entrusted by the administrative departments of science and technology to the management of the entrusted management institutions, the project undertaking units and personnel appear to be minor violations, no obvious negative impact or financial losses, by the entrusted management institutions in accordance with the relevant scientific and technological activities management contracts, management measures, etc.
Article 30 Where the administrative departments of science and technology at all levels have formulated regulations on the treatment of violations of scientific and technological activities within the scope of their functions and powers and the standards of treatment are not lower than these provisions, they may be dealt with in accordance with the existing provisions.
Article 31 Where the handling of violations of scientific and technological activities falls within the responsibilities and powers of other departments and institutions, the departments and institutions with the power to handle them shall handle them in accordance with laws, administrative regulations and other relevant provisions.
If the units or personnel involved in the violation of scientific and technological activities are under the management of the military, the military shall deal with them in accordance with its relevant provisions.
Article 32 Where laws and administrative regulations provide otherwise on violations of scientific and technological activities and the corresponding treatment, such provisions shall prevail.
Where the relevant contents of the department rules or normative documents of the Ministry of Science and Technology are inconsistent with these Provisions, these Provisions shall apply.
Article 33 These Provisions shall come into force as of September 1, 2020.
Article 34 The Ministry of Science and Technology shall be responsible for the interpretation of these Provisions.
